WATKINS, District Judge:
James Jovan Ladson appeals his convictions (Counts I, II, and IV), his sentence of mandatory life imprisonment based upon his conviction for conspiracy to distribute controlled substances, enhanced by two prior felony drug offenses (Count I), and his sentence based upon his conviction for possession with intent to distribute a controlled substance and an increased statutory maximum penalty based upon a prior felony drug offense (Count II). Ladson raises three issues on appeal: (1) whether there was sufficient evidence to support his convictions; (2) whether there were cumulative errors at trial that prejudiced him to the extent that he is entitled to a new trial; and (3) whether the Government properly filed and served its 21 U.S.C. § 851 notice of enhanced sentence. Finding that the first two issues lack merit, we focus our analysis on the Government's
Ladson argues that the Government did not file and serve an information containing notice of an enhanced sentence in accordance with § 851(a)(1). We agree that he was not served before trial with a copy of the information in accordance with § 851(a)(1), and thus the district court lacked authority to impose an enhanced sentence on Counts I and II under 21 U.S.C. §§ 841(a)(1), 841(b)(1)(A), (C), and 846. We therefore vacate Ladson's mandatory term of life imprisonment on Count I and ten-year sentence on Count II, and remand with instructions to resentence Ladson on Counts I and II without the § 851 sentence enhancement under the second information. We affirm the judgment of conviction on Counts I, II, and IV.
In September 2008, a grand jury indicted Ladson and seven others for conspiracy to possess with intent to distribute 50 grams or more of cocaine base, as well as cocaine, ecstasy, and marijuana, in violation of 21 U.S.C. §§ 841(a)(1) and 846 (Count I). The superseding indictment filed in January 2009 added two other. defendants and three new charges against Ladson: (1) possession with intent to distribute cocaine, in violation of 21 U.S.C. § 841(a)(1) (Count II); (2) possession of a firearm in furtherance of a drug trafficking crime, in violation of 18 U.S.C. § 924(c)(1)(A)(i) (Count III); and (3) being a felon in possession of a firearm and ammunition, in violation of 18 U.S.C. § 922(g)(1) (Count IV).
Ladson's trial was scheduled to begin with jury selection on May 12, 2009. On May 4, 2009, the Government provided Ladson's trial counsel with a copy of an information (the "first information") giving notice of the Government's intent to seek enhanced penalties under Counts I and II of the indictment on the basis of a single prior felony drug conviction. It is undisputed that the first information was never filed with the district court.
On May 12, 2009, before the district court brought the jury pool into the courtroom to begin jury selection, the Government announced its intention to file a § 851 sentence enhancement that could result in a mandatory sentence of life imprisonment and remove the possibility of a favorable plea agreement.
Jury selection immediately followed this colloquy, and the trial commenced. On May 13, 2009, the district court declared a mistrial because of the Government's late disclosure of fingerprint evidence.
In July 2009, the Government filed a second superseding indictment. The second superseding indictment charged Ladson and one co-defendant with conspiracy to possess with intent to distribute 50 grams or more of cocaine base, as well as cocaine, ecstasy, and marijuana, in violation of 21 U.S.C. §§ 841(a)(1) and 846 (Count I). Ladson was also charged with: (1) possession with intent to distribute five grams or more of cocaine base, cocaine, and marijuana, in violation of 21 U.S.C. § 841(a)(1) (Count II); (2) possession of a firearm in furtherance of a drug trafficking crime, in violation of 18 U.S.C. § 924(c)(1)(A)(i) (Count III); and (3) being a felon in possession of a firearm and ammunition, in violation of 18 U.S.C. § 922(g)(1) (Count IV). On August 3, 2009, Ladson went to trial on these charges, and on August 7, 2009, the jury found him guilty on Counts I, II, and IV of the second superseding indictment. He was acquitted of the § 924(c) charge in Count III.
No § 851 sentence enhancement information appeared as a docket entry on the district court's Case Management/Electronic Case Filing docket ("CM/ECF") until September 15, 2009, five weeks after the conclusion of the second trial. However, the information docketed on September 15, 2009 (the "third information"), was not the second information the district court received in open court from the Government on May 12, 2009. Rather, the docketed third information, a replacement for the second information, was emailed from the Government to the district court on September 14, 2009. The clerk of the court physically date-stamped the third information May 12, 2009, but it was electronically time-stamped September 15, 2009, by CM/ECF. Notably, the third information
At sentencing on January 5, 2010, only the second information was at issue as the basis for a § 851 sentence enhancement. Ladson's sentencing counsel
The Government argued that the second information was properly filed because it was handed to the district court in open court and it was properly served on Ladson because he had actual notice of the information and the district court had read a portion of the information to him in open court. The Government further reasoned that service was accomplished because: (1) the Government emailed the first information to Ladson's trial counsel; (2) the Government spoke with Ladson's trial counsel multiple times in the lead-up to the first trial about its intent to file the § 851 enhancement exposing Ladson to life imprisonment; (3) there is no doubt that Ladson had actual notice prior to both trials of the § 851 enhancement exposing him to life imprisonment based upon two prior felony drug convictions; and (4) Ladson's trial counsel never complained that he did not receive a copy of the second information prior to trial and he could have simply asked to see the information when it was filed with the district court on May 12, 2009. The Government conceded at least three times, however, that it could not definitively say that a copy of the second information was handed to or otherwise served on Ladson or his counsel prior to the first trial.
During the sentencing hearing, the district court explained that the third
After hearing the arguments of both parties, the district court overruled Ladson's objection and denied Ladson's request for an evidentiary hearing on the issue of service, finding a hearing unnecessary. The district court based its decision on Ladson's knowledge of the filing of the second information in open court on May 12, 2009, and the content of the second information. The district court also stated that it was the district court's "belief" that a copy was handed to Ladson's trial counsel on May 12, 2009, but he was "not certain" of that fact. The district court observed that Ladson's trial counsel's September 15 and 16, 2009 emails "suggest[ed]" that Ladson or his trial counsel was served with the second information prior to trial.
Several standards of review govern this appeal. We review the district court's conclusions of law de novo. Harris v. United States, 149 F.3d 1304, 1306 (11th Cir.1998). We review the adequacy of a 21 U.S.C. § 851 notice de novo. United States v. Ramirez, 501 F.3d 1237, 1239 (11th Cir.2007). We review the findings of fact that support a sentence enhancement for clear error. United States v. Ndiaye, 434 F.3d 1270, 1280 (11th Cir.2006). Clear error review is "very deferential and we will not reverse the district court unless we find that after making all credibility choices in favor of the fact-finder and reviewing the record as a whole, it is clear that a mistake has been made." Commodity Futures Trading Comm'n v. Gibraltar Monetary Corp., Inc., 575 F.3d 1180, 1186 (11th Cir.2009). "Under clear error review, the district court's determination must be affirmed so long as it is plausible in light of the record reviewed in its entirety." Id. "We review the district
Questions regarding sufficiency of the evidence are reviewed de novo, resolving all reasonable inferences in favor of the verdict. United States v. Naranjo, 634 F.3d 1198, 1206 (11th Cir.2011) (internal quotation marks and citations omitted). "We cannot disturb the verdict unless no trier of fact could have found guilt beyond a reasonable doubt." Id. (internal quotation marks and citations omitted).
"Even where individual judicial errors or prosecutorial misconduct may not be sufficient to warrant reversal alone, we may consider the cumulative effects of errors to determine if the defendant has been denied a fair trial." United States v. Lopez, 590 F.3d 1238, 1258 (11th Cir.2009), cert. denied, ___ U.S. ____, 131 S.Ct. 413, 178 L.Ed.2d 322 (2010). "In addressing a claim of cumulative error, we must examine the trial as a whole to determine whether the appellant was afforded a fundamentally fair trial." United States v. Calderon, 127 F.3d 1314, 1333 (11th Cir. 1997). There is no cumulative error where the defendant "cannot establish that the combined errors affected his substantial rights." United States v. Foley, 508 F.3d 627, 638 (11th Cir.2007). Assessing cumulative error, the court reviews all errors preserved for appeal and all plain errors. United States v. Baker, 432 F.3d 1189, 1223 (11th Cir.2005).
Finally, litigants must "make all their objections to a sentencing court's findings of fact, conclusions of law, and the manner in which the sentence was imposed at the initial sentencing hearing." United States v. Canty, 570 F.3d 1251, 1257 (11th Cir.2009) (internal citation omitted). Therefore, "remand for further proceedings is inappropriate when the issue was before the court and the parties had an opportunity to introduce relevant evidence." Id. (internal citation omitted).
Our analysis focuses on the question whether the Government complied with the procedural requirements of 21 U.S.C. § 851(a)(1) in order for the district court to impose a mandatory term of life imprisonment.
Section 841(b)(1) prescribes enhanced sentences for recidivist drug offenders. To obtain a sentence enhancement under § 841(b)(1) based on a defendant's prior felony drug conviction(s), the government must comply with § 851(a)(1). Section 851(a)(1) provides in pertinent part:
Section 851(a)(1) contains both a filing and service requirement, and it is "phrased in mandatory language."
It is not apparent from the record whether the district court made a finding at Ladson's sentencing that Ladson or his trial counsel was served with a copy of the second information before trial. Although Federal Rule of Criminal Procedure 32(i)(3) requires such a finding, the record does not allow us to conclude that the district court complied with that rule. Fed.R.Crim.P. 32(i)(3) ("At sentencing, the court: (A) may accept any undisputed portion of the presentence report as a finding of fact; [and] (B) must—for any disputed portion of the presentence report or other controverted matter—rule on the dispute. . . .") On balance, it does not matter whether the court made a finding pursuant to Rule 32. Even if it had, we would reverse because the record would not support such a finding under any standard of review.
To begin, the Government produced no evidence or testimony at Ladson's sentencing to prove that it had served the second information on Ladson or his trial counsel before trial. In fact, the Government repeatedly confessed that it could not remember whether it had handed a copy of the second information to Ladson or his trial counsel. Further, the Presentence Investigation Report contained no factual basis describing how or when the second information was served on Ladson or his trial counsel. In response
Further, the district court's stated reasons for denying Ladson's service objection did not fill the evidentiary void left by the Government. The district court's stated reasons for denying Ladson's objection were (1) its belief that Ladson or his trial counsel was served; (2) the September 16, 2009 email from Ladson's trial counsel that "suggest[ed]" service; and (3) Ladson's actual knowledge of the second information. We address the district court's stated bases in turn.
First, the district court's belief that Ladson or his trial counsel was served based on its own recollection of the events of May 12, 2009, was not evidence of service. Such a belief was not informed by admissible evidence or testimony, nor was it a fact appropriate for judicial notice. See Fed. R.Evid. 201(b) ("A judicially noticed fact must be one not subject to reasonable dispute in that it is . . . capable of accurate and ready determination by resort to sources whose accuracy cannot reasonably be questioned.").
Second, the supplementation of the Presentence Investigation Report with Ladson's trial counsel's September 16, 2009 email did not add any relevant evidence that Ladson or his trial counsel was in fact served with a copy of the second information before trial. See Fed.R.Crim.P. 32(i)(3)(C). The district court focused on the legal argument in the email that read, "Nevertheless, although served on defense counsel, the Information(s) must be `filed' prior to trial and, in this case, that doesn't appear to have happened." In so doing, the district court did not credit Ladson's trial counsel's, statement in the email concerning the documents he had actually received, which were the first and third informations. Nothing in that email contains plausible, relevant evidence that the second information was served before trial, and it is the second information upon which the Government relies for service pursuant to § 851(a)(1).
Third, it was error to conclude that an oral summary of the second information in open court and Ladson's actual knowledge of the filing of the second information were valid substitutes for service of a copy of a § 851 sentence enhancement. See Noland, 495 F.2d at 533 (§ 851 information filed one day after sentencing did not satisfy § 851(a)(1) filing requirement, notwithstanding that the defendant was advised of enhanced limits of punishment at arraignment and did not contest the validity of his prior conviction at sentencing). Accordingly, reading or summarizing a § 851 information in open court is not "serv[ice of] a copy" sufficient for strict compliance with § 851(a)(1). See Fed. R.Civ.P. 5(b) (reading in open court is not a permissible method of service in Rule 5(b)); United States v. Novaton, 271 F.3d 968, 1016 (11th Cir.2001) (Service of a § 851 sentence enhancement must comply with Federal Rule of Criminal Procedure 49(b), in conjunction with Federal Rule of Civil Procedure 5(b).). Because the Government failed to serve Ladson with a copy of the second information before his second trial commenced on August 3,
Finally, given the Government's opposition to remand for an evidentiary hearing and its previous opportunity "to offer evidence and seek rulings from the sentencing court in support of an enhanced sentence," remand for a hearing on the issue of service of the second information is inappropriate. Canty, 570 F.3d at 1257.
We AFFIRM the judgment of conviction on Counts I, II, and IV of the second superseding indictment.
AFFIRMED in part, VACATED and REMANDED in part.
In the September 15, 2009 email, Ladson's trial counsel stated that he received a copy of the first information by email, but that information was not filed with the court. He further stated that the information that was docketed on CM/ECF on September 15, 2009 (the third information), was not filed before trial. The September 16, 2009 email from Ladson's trial counsel to the probation officer reads,
The September 16, 2009 email did not reference the second information, contrary to the district court's suggestion.
On Count II, a reasonable jury could have found beyond a reasonable doubt that Ladson knowingly possessed a controlled substance with intent to distribute on the basis that: (1) he was aware of the cocaine base, cocaine, and marijuana, which were located in the open throughout the residence, where he had been the sole occupant for four consecutive days; (2) he had dominion and control over the residence; and (3) the drugs were packaged for distribution.
On Count IV, a reasonable jury could have found beyond a reasonable doubt that Ladson possessed the firearm because he had dominion and control over the bedroom, there was a firearm on the floor next to the bed and ammunition on the bed, and investigators found Ladson's fingerprint on the firearm's magazine.
After careful review of the record, we further find no cumulative error that affected Ladson's substantial rights in light of the other overwhelming evidence against him. Fed. R.Crim.P. 52(a); United States v. Hands, 184 F.3d 1322, 1329 (11th Cir.1999) (error is harmless where it has no substantial influence on the outcome of the case and there was sufficient evidence uninfected by error to support the verdict). Further, we find that Ladson was not denied a fair trial.
The present case is easily distinguishable on two fronts. First, this case does not present an uncontroverted record of service. Second, Cevallos I does not stand for the proposition that a defendant's knowledge alone is sufficient to establish § 851(a)(1) compliance, because such a holding would be in conflict with Noland. See 495 F.2d at 533 (holding that where the government failed to file an information before trial, yet the defendant knew he could be subject to an enhanced sentence as early as his arraignment, such knowledge or lack of surprise did not equate to compliance with § 851); accord United States v. Olson, 716 F.2d 850, 853-54 (11th Cir.1983) (vacating a sentence enhancement where the district court relied on the defendant's actual knowledge of his status as a "multiple offender" to establish § 851(a)(1) compliance and expressly affirming Cevallos I). We do not read Cevallos I to contradict Noland.